4 May 2023 ·

Working Paper

๐ŸšงUse of private companies by Compliance Law to serve Human Rights

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โ–บ Full reference: M.-A. Frison-Roche, Use of private companies by Compliance Law to serve Human Rights, Working Paper, May 2023.

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This Working Paper is the basis of:

๐ŸŽคa conference done in French in Toulouse on June 16, 2023

๐Ÿ“an article previously written before and for this conference, and subsequently published in the book Puissances privées et droits de l'homme ("Private Powers and Human Rights")

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โ–บSummary of this Working Paper: Following the legal tradition, Law creates a link between power with a legitimate source, the State, public power being its prerogative, while private companies exercise their power only in the shadow of this public power exercised ex ante.  The triviality of Economic Law, of which Competition Law is at the heart, consisting of the activity of companies that use their power on markets, relegates the action of the State to the rank of an exception, admissible if the State, which claims to exercise this contrary power, justifies it.  The distribution of roles is thus reversed, in that the places are exchanged, but the model of opposition is shared. This model of opposition exhausts the forces of the organisations, which are relegated to being the exception. However, if we want to achieve great ambitions, for example to give concrete reality to human rights beyond the legal system within which the public authorities exercise their normative powers, we must rely on a new branch of Law, remarkable for its pragmatism and the scope of the ambitions, including humanist ambitions, that it embodies: Compliance Law.

Compliance Law is thus the branch of Law which makes the concern for others, concretised by human rights, borne by the entities in a position to satisfy it, that is to say the systemic entities, of which the large companies are the direct subjects of law (I). The result is a new division between Public Authorities, legitimate to formulate the Monumental Goal of protecting human beings, and private organisations, which adjust to this according to the type of human rights and the means put in place to preserve them. Corporations are sought after because they are powerful, in that they are in a position to make human rights a reality, in their indifference to territory, in the centralisation of Information, technologies and economic, human, and financial means. This alliance is essential to ensure that the system does not lead to a transfer of political choices from Public Authorities to private companies; this alliance leads to systemic efficiency. The result is a new definition of sovereignty as we see it taking shape in the digital space, which is not a particular sector since it is the world that has been digitalised, the climate issue justifying the same new distribution of roles (II). 

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  1. ๐Ÿ•ด๏ธJean-Claude Venezia drew on the article of ๐Ÿ•ด๏ธEisenmann of 1952 on ๐Ÿ“Droit public, Droit privé (En marge d’un livre sur l’évolution du droit civil français du XIXe au XXe siècle) to produce a study on ๐Ÿ“Puissance publique, puissance privée in the Mélanges in homage to Eisenmann in 1975 (๐Ÿ“—Recueil d'études en hommage à Charles Eisenmann, 1975).  The article of ๐Ÿ•ด๏ธEisenmann was itself written in connection with the book of ๐Ÿ•ด๏ธSavatier, who asserted the "publicisation du droit privé" (which we can translate as "publicisation of Private Law").
  2. ๐Ÿ“—L'ordre concurrentiel. Mélanges en l'honneur d'Antoine Pirovano, 2003.
  3. Power then takes the form of dunamis, potentiality, which is activated, sometimes simply by the passage of time. On the status of "virtuality", ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐Ÿ“Le droit à double sens : la virtualité, in ๐Ÿ“—Mélanges Élie Alfandari, Drôle de droit, 1999.
  4. Even if public power is no longer sufficient to give jurisdiction to the administrative judge in the event of litigation, the question of the jurisdiction of the latter or of the judicial judge being what most often led the doctrine to define "public power", in particular in its relationship with the public service.
  5. Even if public power is no longer sufficient to give jurisdiction to the administrative judge in the event of litigation, the question of the jurisdiction of the latter or of the judicial judge being what most often led the doctrine to define "public power", in particular in its relationship with the public service.
  6. It is mainly from this angle of jurisdictional competence that the confrontation is examined by ๐Ÿ•ด๏ธJean-Claude Vénézia, ๐Ÿ“Puissance publique, puissance privé, in ๐Ÿ“—Recueil d'études en hommage à Charles Eisenmann, 1975.

    For a reconsideration of this jurisdictional criterion, ๐Ÿ•ด๏ธR. Drago and ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐Ÿ“Mystères et mirages des dualités des ordres de juridictions et de la justice administrative, in Archives de philosophie du droit (APD), ๐Ÿ“—Le privé et le public, 1997.
  7. ๐Ÿ•ด๏ธR. Savatier, ๐Ÿ“—Du droit civil au droit public : Du droit civil au droit public : à travers les personnes, les biens, et la responsabilité civile, 1950.
  8. ๐Ÿ•ด๏ธE. Pourcel, ๐Ÿ“Interdiction du recours à la force : où en est-on ?, 2017.
  9. ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐Ÿ“Drawing the circles of Compliance Law, 2018.
  10. ๐Ÿ•ด๏ธM.-A. Frison-Roche, (ed.), ๐Ÿ“˜Compliance Obligation, 2024.
  11. ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐ŸšงThinking and using Vigilance through its Compliance Monumental Goals, 2023.
  12. ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐ŸšงVigilance, a piece of the European puzzle, 2023 ; ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐ŸŽคL'esprit des Lois en matière de vigilance (Spirit of Law in Vigilance (Due Diligences) matters), 2023.

    M.-A. Frison-Roche, , 2023 ; L'esprit des lois relative à la Vigilance, 2023.
  13. ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐ŸšงCompliance Law, 2016.
  14. ๐Ÿ•ด๏ธM.-A. Frison-Roche (ed.), ๐Ÿ“•Les Buts Monumentaux de la Compliance, 2022; ๐Ÿ•ด๏ธM.-A. Frison-Roche (ed.) ๐Ÿ“˜Compliance Monumental Goals, 2023; later, see for instance, in ๐Ÿ•ด๏ธM.-A. Frison-Roche (ed.), ๐Ÿ“˜Compliance Jurisdictionalisation, 2023, the articles of ๐Ÿ•ด๏ธA. Bruneau, ๐Ÿ“The company judges itself: the Compliance function in the bank, ๐Ÿ•ด๏ธS. Merabet, ๐Ÿ“Vigilance, being a judge and not judge and๐Ÿ•ด๏ธE. Kleimann, ๐Ÿ“The objectives of compliance confronted with the actors of arbitration; ๐Ÿ•ด๏ธN. Ida, ๐Ÿ“Contrat et devoir de vigilance des sociétés, 2023, which is based on work in progress, in particular ๐ŸšงCompliance contract, compliance stipulations, 2023 and ๐Ÿ“˜Contract & Compliance, collective book in progress, 2024.
  15. ๐Ÿ›๏ธTribunal judiciaire de Paris (Paris First Instance Civil Court), ordonnance de référé (interim order), 28 February 2023, Amis de la terre v. TotalEnergie : "Cette leฬgislation assigne ainsi des buts monumentaux de protection des droits humains et de l’environnement aฬ€ certaines cateฬgories d’entreprise preฬcisant aฬ€ minima les moyens qui doivent eฬ‚tre mis en œuvre pour les atteindre.".
  16. On the need for confidentiality of in-house lawyers' opinions, Association des Avocats Conseils d’Entreprises (ACE), Communiqué : Sérieusement ?, July 2023 : "Les entreprises françaises et celles installées en France ont besoin de la confidentialité des avis de leurs juristes pour renforcer leur compétitivité et pour atteindre les buts monumentaux visés par le droit de la compliance, dont la lutte pour la probité et celle pour le respect des droits humains et de l’environnement. Cette question touche aussi à la souveraineté économique de la France dans la mesure où les pays étrangers qui respectent la confidentialité des avis des juristes de leurs entreprises ne respectent pas encore celle des avis des juristes français, puisque la loi française ne la leur accorde pas.".
  17. ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐ŸšงEx Ante Responsibility, 2022.
  18. In this respect, the Digital Services Act is a compliance legislation. See for instance ๐Ÿ•ด๏ธR.-O. Maistre, ๐Ÿ“What are the Monumental Goals for the Regulator in a Rapidly Changing Audiovisual and Digital Landscape?,  in ๐Ÿ•ด๏ธM.-A. Frison-Roche (ed.) ๐Ÿ“˜Compliance Monumental Goals, 2023.
  19. The three Grande Synthe decisions handed down by the Conseil d'État (French Council of State) are exemplary of this logic.

    On the role of the judge, ๐Ÿ•ด๏ธM.-A. Frison-Roche (ed.), ๐Ÿ“˜Compliance Jurisdictionalisation, 2023 ; on the founding symposium of the Conseil d'État (French Council of State) and the Cour de cassation (French Court of cassation), ๐Ÿ•ด๏ธM.-A.  Frison-Roche and ๐Ÿ•ด๏ธA. Seban, ๐Ÿ’ฌCompliance : les cours suprêmes s’emparent de la question de ses enjeux juridictionnels (Compliance: the Supreme Courts take up the issue of its jurisdictional implications), 2023. 
  20. ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐Ÿ“Compliance : avant, maintenant, après (Compliance: before, now, after), in ๐Ÿ•ด๏ธN. Borga, ๐Ÿ•ด๏ธJ.-Cl. Marin and ๐Ÿ•ด๏ธJ.-Ch. Roda (ed.), ๐Ÿ“•Compliance : l'entreprise, le régulateur et le juge (Compliance: the Company, the Regulator and the Judge), 2018.
  21. ๐Ÿ•ด๏ธCh. Huglo, ๐Ÿ“Under what Conditions could Climate Law Constitute a Priority Monumental Goal?, in ๐Ÿ•ด๏ธM.-A. Frison-Roche (ed.), ๐Ÿ“˜Compliance Monumental Goals, 2023.
  22. On the journey through time, from the present to the future, that Compliance Law constitutes, which in turn generates a "return to the future" of future beings able to exercise subjective procedural rights today, see๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐Ÿ“Place and Role of Companies in the Creation and Effectiveness of Compliance Law in Crisis, in ๐Ÿ•ด๏ธM.-A. Frison-Roche (ed.), ๐Ÿ“˜Compliance Monumental Goals, 2023.
  23. On the journey through time, from the present to the future, that Compliance Law constitutes, which in turn generates a "return to the future" of future beings able to exercise subjective procedural rights today, see๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐Ÿ“Place and Role of Companies in the Creation and Effectiveness of Compliance Law in Crisis, in ๐Ÿ•ด๏ธM.-A. Frison-Roche (ed.) ๐Ÿ“˜Compliance Monumental Goals, 2023.
  24. ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐Ÿ“Rights, primary and natural Compliance Tools, in ๐Ÿ•ด๏ธM.-A. Frison-Roche (ed.), ๐Ÿ“˜Compliance Tools, 2021.
  25. V. n°13 et s.
  26. ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐ŸšงCompliance contract, compliance stipulations, 2022.
  27. Hypothesis against which the European legislator has expressly stated, in the recitals of the directive on Corporate Sustainability Due Diligence, that such clauses should be ineffective, since they aim to destroy the personal responsibility of the ordering company to ensure that human rights are respected.
  28. In a decision of 15 June  2023, the CNIL (French data protection authority) heavily sanctioned the Criteo Group, which argued that it was no longer responsible for protecting Internet users in that it had contractually entrusted this responsibility to its partners; see ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐Ÿ“งCompliance & Contrat / lien entre Consentement et Volonté ; enjeu de responsabilité personnelle : CNIL, 15 juin 2023, Criteo (Compliance & Contract / link between Consent and Will; personal liability issue: CNIL (French data protection authority), 15 June 2023, Criteo), 2023.
  29. ๐Ÿ•ด๏ธA. Oumedjkane, ๐Ÿ“—Compliance et droit administratif, thesis Montpellier, 2022.
  30. ๐Ÿ•ด๏ธA. Oumedjkane, ๐Ÿ“—Compliance et droit administratif, thesis Montpellier, 2022.
  31. ๐Ÿ•ด๏ธS. Mouton, ๐Ÿ“Constitutional dimensions of the Compliance Obligation, in ๐Ÿ•ด๏ธM.-A. Frison-Roche (ed.), ๐Ÿ“˜Compliance Obligation, 2024.
  32. ๐Ÿ•ด๏ธS. Mouton, ๐Ÿ“Constitutional dimensions of the Compliance Obligation, in ๐Ÿ•ด๏ธM.-A. Frison-Roche (ed.), ๐Ÿ“˜Compliance Obligation, 2024.
  33. ๐Ÿ•ด๏ธA. Oumedjkane, ๐Ÿ“—Compliance et droit administratif, thesis Montpellier, 2022.
  34. On the notion of Crucial Operator, of which systemic operators - such as banks - are an example, see ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐Ÿ“Proposition pour une notion : l'opérateur crucial (Proposal for a notion: the "Crucial Operator"), 2006.

    C'est ainsi que le Digital Services Act implique que soit dressée une liste des opérateurs cruciaux dans l'espace digital, afin de leur imputer des obligations de compliance en Ex Ante, méthode directement inspirée du Droit de la régulation bancaire. Insérée dans cette liste, Amazon conteste en justice cette insertion.
  35. ๐Ÿ•ด๏ธJ.-B. Racine, ๐Ÿ“Compliance and arbitration. An attempt at problematisation, in ๐Ÿ•ด๏ธM.-A. Frison-Roche (ed.), ๐Ÿ“˜Compliance Jurisdictionalisation, 2023.
  36. ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐ŸŽคParticipation à la table ronde "Vigilance (due diligence)" (Participation in the panel "Vigilance (due diligence)"), in ๐Ÿงฎ150th Anniversary Symposium of the International Law Association (ILA/ADI), 2023.
  37. ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐Ÿ““L'apport du Droit de la Compliance dans la gouvernance d'Internet (The contribution of Compliance Law to the Internet Governance), Report asked by the French Government, 2019.
  38. ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐Ÿ““L'apport du Droit de la Compliance dans la gouvernance d'Internet (The contribution of Compliance Law to the Internet Governance), Report asked by the French Government, 2019.
  39. ๐Ÿ•ด๏ธM.-A. Frison-Roche (ed.), ๐Ÿ“˜Compliance Jurisdictionalisation, 2023., not. ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐Ÿ“Reinforce the Judge and the Attorney to impose Compliance Law as a characteristic of the Rule of Law.
  40. ๐Ÿ•ด๏ธR.-O. Maistre, ๐Ÿ“What are the Monumental Goals for the Regulator in a Rapidly Changing Audiovisual and Digital Landscape?,  in ๐Ÿ•ด๏ธM.-A. Frison-Roche (ed.) ๐Ÿ“˜Compliance Monumental Goals, 2023.
  41. ๐Ÿ•ด๏ธR.-O. Maistre, ๐Ÿ“What are the Monumental Goals for the Regulator in a Rapidly Changing Audiovisual and Digital Landscape?,  in ๐Ÿ•ด๏ธM.-A. Frison-Roche (ed.) ๐Ÿ“˜Compliance Monumental Goals, 2023.
  42. It was the subject of the thesis of ๐Ÿ•ด๏ธH. Motulsky, ๐Ÿ“—Principes d'une réalisation méthodique du droit prive. La théorie des éléments générateurs de droits, 1948. 
  43. In Western Law, because the principle is the freedom of individuals, the company being a legal entity, Compliance cannot - and fortunately cannot - be defined in this way: see supra no. 8 and infra no. 15.
  44. On the perverted conception of consent, see supra no. 7.
  45. ๐Ÿ•ด๏ธJ. Beyssade et ๐Ÿ•ด๏ธCh. Peicuti, ๐Ÿ“Feminisation of Positions of Responsibility in the Workplace as a Goal of Compliance. Example of the Banking Sector, in ๐Ÿ•ด๏ธM.-A. Frison-Roche (ed.) ๐Ÿ“˜Compliance Monumental Goals, 2023.
  46. ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐Ÿ“Remarques sur la distinction entre la volonté et le consentement en droit des contrats (Remarks on the distinction between will and consent in Contract Law), 1995.
  47. On the distinction between conformity and Compliance, see supra no. 8.
  48. See supra no. 12.
  49. ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐Ÿ’ฌYouporn : Le Droit doit se renouveler face à la transformation du monde par l'espace numérique (Youporn: The Law must renew itself in the face of the digital transformation of the world), 2022 ; ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐Ÿ“งPrésent et avenir des "causes systémiques" : cas des sites pornos (jugement 7 juillet 2023) (Present and futur of the "systemic cases": case of the pornographic websites (judgment of 7 July 2023)), 2023.
  50. ๐Ÿ•ด๏ธA.-V. Le Fur, ๐Ÿ“Interest and “raison d’eฬ‚tre” of the Company: How Does It Fit Together with the Compliance Monumental Goals?, in ๐Ÿ•ด๏ธM.-A. Frison-Roche (ed.), ๐Ÿ“˜Compliance Monumental Goals, 2023 ; ๐Ÿ•ด๏ธA.-V. Le Fur, ๐Ÿ“Corporate Law and Financial Markets Law facing the Compliance Obligation, in ๐Ÿ•ด๏ธM.-A. Frison-Roche (ed.), ๐Ÿ“˜Compliance Obligation, 2024.
  51. As feared by ๐Ÿ•ด๏ธGunther Teubner, ๐Ÿ“—Fragments constitutionnels. Le constitutionnalisme sociétal à l'ère de la globalisation, 2016 ; or ๐Ÿ•ด๏ธAlain Supiot, ๐Ÿ“—L'entreprise dans un monde sans frontières. Perspectives économiques et juridiques, 2015. 
  52. See Prolegomena no. 4 et seq.
  53. On international arbitration, corruption and Compliance Law, s. ๐Ÿ•ด๏ธJ.-B. Racine, ๐Ÿ“Compliance and arbitration. An attempt at problematisation, in ๐Ÿ•ด๏ธM.-A. Frison-Roche (ed.), ๐Ÿ“˜Compliance Jurisdictionalisation, 2023.
  54. See supra no. 9.
  55. In the same way, ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐ŸšงCompliance contract, compliance stipulations, 2022.
  56. ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐Ÿ“Un Droit substantiel de la Compliance, appuyé sur la tradition européenne humaniste ("A substantive Compliance Law, based on the European humanist tradition"), in ๐Ÿ•ด๏ธM.-A. Frison-Roche (ed.), ๐Ÿ“•Pour une Europe de la Compliance (For the Europe of the Compliance), 2019.
  57. ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐ŸšงVigilance, a piece of the European puzzle, 2023.
  58. ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐ŸšงVigilance, a piece of the European puzzle, 2023.
  59. ๐Ÿ•ด๏ธG. Canivet, ๐Ÿ“Le débat common law versus civil law sur la performance économique du droit est-il pertinent ?, 2018.
  60. On this distinction, ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐Ÿ“Argent privé, argent public (Private money, public money), in Archives de philosophie du droit (APD), ๐Ÿ“—Le droit et l'argent, 1998. 
  61. ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐ŸšงConceiving power, 2021, in Mélanges en hommage à Emmanuel Gaillard (to be published in 2024).
  62. ๐Ÿ•ด๏ธC. Kessedjan, ๐Ÿ“L'arbitrage au service de la lutte contre la violation des droits de la personne humaine par les entreprises, in ๐Ÿ•ด๏ธM.-A. Frison-Roche (ed.), ๐Ÿ“•La juridictionnalisation de la Compliance, 2023.
  63. ๐Ÿ•ด๏ธM.-A. Frison-Roche, ๐Ÿ“Definition of Proportionality and Definition of Compliance Law, in ๐Ÿ•ด๏ธM.-A. Frison-Roche (ed.), ๐Ÿ“˜Compliance Monumental Goals, 2023.
  64. V. par ex. A. Supiot, L’erreur de Foucault. Réflexions sur le biopouvoir, 2022. V. d'une façon plus générale .....